Once the interviewer contacts a sample household we believe that the influences on the householders decision to participate arise from relatively stable features of their environments and backgrounds, fixed features of the survey design, as well as quite transient, unstable features of the interaction between the interviewer and the householder. This conceptual scheme is portrayed in Figure 1-8, which lists influences of the social environment, householder, survey design features, interviewer attributes and behavior, and the contact-level interaction of interviewers and householders.
FIGURE 1-8. A conceptual framework for survey cooperation.
SOURCE: Groves and Couper (1998).
The influences on the left of the figure (social environment and sample household) are features of the population under study, out of control of the researcher. The influences on the right are the result of design choices by the researcher, affecting the nature of the survey requests and the attributes of the actors (the interviewers) who deliver them. The bottom of the figure, describing the interaction between the interviewer and the householder, is the occasion when these influences come to bear. Which of the various influences are made most salient during that interaction determines the decision outcome of the householder.
Social Environmental Influences on Survey Participation
Because surveys are inherently social events, we would expect that societal and group-level influences might affect their participation rates. There is a set of global characteristics in any society that affect survey participation. These factors serve to determine the context within which the request for participation takes place, and constrain the actions of both householder and interviewer. For example, the degree of social responsibility felt by a sample person may be affected by factors such as the legitimacy of societal institutions, the degree of social cohesion, and so on. Such factors influence not only the expectations that both interviewer and respondent bring to the interaction, but also determine the particular persuasion strategies (on the part of the interviewer) and decision-making strategies (on the part of the respondent) that are used. More specific to the survey-taking climate are such factors as the number of surveys conducted in a society (the oversurveying effect) and the perceived legitimacy of surveys.
We would expect, therefore, to the extent that societies differ on these attributes to observe different levels of cooperation for similar surveys conducted in different countries. There is evidence for this (see De Heer and Israëls, 1992), but the evidence is clouded by different design features used across countries, especially intensity of effort to reduce nonresponse. These include different protocols for advance contact with sample households, for repeated callbacks on noncontacted cases, and for dealing with initial refusals.
There are also environmental influences on survey cooperation below the societal level. For example, urbanicity is one of the most universal correlates of cooperation across the world. Urban dwellers tend to have lower response rates than rural dwellers. This contrast has been commonly observed in part because the urbanicity variable is often available from the sampling frame. The nature of urbanicity effects on response rates has been found to be related to crime rates (House and Wolf, 1978), but also may be related to population density, the type of housing structures, and household composition in urban areas. The effect also may be a function of inherent features of urban life the faster pace, the frequency of fleeting single-purpose contacts with strangers, and the looser ties of community in such areas.
Characteristics of the Sample Householder
The factors affecting nonresponse that are most widely discussed in the survey literature are sociodemographic characteristics of the householder or sample person. These include age, gender, marital status, education, and income. Response rates have been shown to vary with each of these, as well as other, characteristics.
Other factors associated with these also have been studied for their relationship to response rates. These include household structure and characteristics, such as the number and ages of the household members and the quality and upkeep of housing, and the experience of the respondent, such as exposure to situations similar to the interview interaction or a background that provided information or training relevant to the survey topic.
We do not believe these factors are causal to the participation decision. Instead, they tend to produce a set of psychological predispositions that affect the decision. Some of them are indicators of the likely salience of the topic to the respondent (e.g., socioeconomic indicators on income-related surveys); others are indicators of reactions to strangers (e.g., single-person households).
The sociodemographic factors and household characteristics all may influence the householders psychological predispositions. Feelings of efficacy, embarrassment, or helpfulness and moods of depression, elation, or anger all will be affected by these factors. All of these characteristics will then influence the cognitive process that will occur during the interaction with the interviewer.
Few householders appear to have strongly preformed decisions about survey requests. Rather, these decisions are made largely at the time of the request for participation. Much social and cognitive psychological research on decision making (e.g., Eagly and Chaiken, 1984; Petty and Caccioppo, 1986) has contrasted two types of processes. The first is deep, thorough consideration of the pertinent arguments and counterarguments of the costs and benefits of options. The second is shallower, quicker, more heuristic decision making based on peripheral aspects of the options. We have a very specific meaning of heuristic in this context use of general rules of behavior (e.g., strange men at the telephone are to be avoided) to guide the survey decision rather than judgments based on the specific information provided about the survey.
We believe the survey request situation most often favors a heuristic approach because the potential respondent typically does not have a large personal interest in survey participation and, consequently, is not inclined to devote large amounts of time or cognitive energy to the decision of whether or not to participate. Furthermore, little of the information typically provided to the householder pertains to the details of the requested task. Instead, interviewers describe the purpose of the survey, the nature of the incentive, or the legitimacy of the sponsoring organization. All of these in some sense are peripheral to the respondents task of listening to the interviewers questions, seriously considering alternative answers, and honestly reporting ones judgment.
Cialdini (1984) has identified several compliance principles that guide some heuristic decision making on requests and appear to be activated in surveys. These include reciprocation, authority, consistency, scarcity, social validation, and liking. We review these briefly there (see also Groves et al., 1992) and link them to other concepts used in the literature.
Reciprocation. This heuristic suggests that a householder should be more willing to comply with a request to the extent that compliance constitutes the repayment of a perceived gift, favor, or concession. Thus, one may choose to participate in a survey based on a perceived sense of obligation to the organization making the request, or to the broader society it represents. On a narrower level, more peripheral features of the request (e.g., incentives, interviewer compliments) may be sufficient to invoke the reciprocity heuristic.
Reciprocation, as a concept, is closely related to sociological notions of social exchange. Social exchange theories tend to focus on long-run relationships between individuals and groups, but contain the same influence of past favors given by another influencing similar actions by a focal person or group.
Authority. People are more likely to comply with a request if it comes from a properly constituted authority, someone who is sanctioned by the society to make such requests and to expect compliance. In the survey interview context, the immediate requester is typically not the authority figure but is seen as representing some sponsoring organization that can be judged to have varying degrees of authority status. Survey organizations with greater legitimacy (e.g., those representing federal government agencies) are more likely to trigger the authority heuristic in influencing the householders decision to participate.
Notions of social isolation, the perception by people that they are not part of the larger society or bound by its norms, may be useful here. Socially isolated groups include both those believing they have suffered historical inequities at the hands of major institutions or groups and those identifying quite strongly with a distinct subculture. These types of groups may be guided by the same norms of reciprocation or influences of authority during interactions involving institutions of the majority culture, but in such cases the effect on cooperation may be negative.
We have found concepts of reciprocation and authority very important to understanding the behavior of sample persons. In addition, however, four other compliance heuristics described by Cialdini (1984) are relevant to surveys: consistency, scarcity, social validation, and liking.
Consistency. The consistency heuristic suggests that, after committing oneself to a position, one should be more willing to comply with requests for behaviors that are consistent with that position. This is the likely explanation for the foot-in-the-door effect in surveys (e.g., Freedman and Fraser, 1966), where compliance with a small initial request leads to greater willingness to accede to a larger request.
Scarcity. This heuristic notes that one should be more willing to comply with requests to secure opportunities that are scarce. To the extent that the survey request is perceived as a rare opportunity to participate in an interesting and/or important activity, the scarcity principle may lead to greater likelihood of acceptance of the request.
Social validation. Using this heuristic, one would be more willing to comply with a request to the degree that one believes similar others are likely to do so. If householders believe that most people like themselves agree to participate in surveys, they may be more inclined to do so themselves.
Liking. Put simply, one should be more willing to comply with the requests of liked others. A variety of factors (e.g., similarity of attitude, background, or dress; praise) have been shown to increase liking of strangers, and these cues may be used to guide the householders decision in evaluating the interviewers request.
Although we believe these heuristics often come to the fore when a householder is confronted with a request to participate in a survey, other factors more closely associated with a rational choice perspective also may influence their decision.
For example, a common finding in research on attitude change (see, for example, Petty and Caccioppo, 1986) is that when the topic of discussion is highly salient to laboratory subjects, they tend to give careful consideration to the arguments pro and con concerning the topic. Similarly, we think that saliency, relevance, and interest in the survey topic are relevant to the householders decision process. That is, when the survey topic is highly relevant to the well-being or for other reasons of interest to the householders, they might perform a more thorough analysis of the merits of cooperating with the survey request.
However, in contrast to the laboratory experiments in the attitude change literature, largely based on willing and motivated subjects, the survey setting probably limits cost-benefit examination of a survey request. Calls by interviewers to sample households generally are unscheduled events. The amount of discretionary time perceived to be possessed by the householders at the time of contact also will affect their tendency to engage in deliberate, careful consideration of the arguments to participate in the survey. Householders who see themselves as burdened by other obligations overwhelmingly may choose heuristic shortcuts to evaluate the survey request.
Attributes of the Survey Design
Much survey research practice is focused on reducing nonresponse by choosing features of the survey design that generate higher participation rates. These by and large are fixed attributes of the request for an interview that are applied to all cases. This section discusses those features in an indirect manner, by identifying and elaborating the concepts that underlie their effectiveness.
Many of the survey design features aimed at gaining cooperation use one or more of the compliance heuristics reviewed earlier. For example, the reciprocation heuristic probably underlies the large literature on the effects of incentives on survey participation rates. Consistent with the concept of reciprocation, there appear to be larger effects of incentives provided prior to the request for the survey, compared to those promised contingent on the completion of the interview (Berk et al., 1987; Singer et al., 1996).
The concept also underlies the common training guideline in some surveys for interviewers to emphasize the potential benefits of the survey to the individual respondent. For example, in the Consumer Expenditure Survey, used as part of the Consumer Price Index of the United States, interviewers often tell elderly householders that their government Social Security payments are affected by the survey.
One implication of the consistency principle for survey design is that an interviewer who can draw a connection between the merits of particular (or general) survey participation and the respondents committed beliefs, attitudes, and values (e.g., efficiency in government, advancement of knowledge) is likely to be more successful in gaining compliance.
Evoking authority is a common tool in advance mailings in household surveys and in the introductory script of interviewers. Advance letters often are crafted to use stationery that evokes legitimate authority for the information collection; the letters are signed, whenever possible, by persons with titles conveying power and prestige. Some social surveys (e.g., studies of community issues) seek the endorsement of associations or organizations that would aid the communication of legitimate authority to collect the data. Furthermore, interviewers often are trained to emphasize the sponsor of their survey when the sponsor generally is seen as having legitimate authority to collect the information (e.g., government or educational institutions), but rarely to do so when that is less likely (e.g., certain commercial organizations).
The scarcity principle may underlie the interviewer tactics of emphasizing the value to a respondent of making your voice heard or having your opinion count while noting that such an opportunity is rare (e.g., We only contact one person in every 30,000). This principle may also help explain the decline of survey participation in Western society that has coincided with the proliferation of surveys. People may no longer consider the chance to have their opinions counted as an especially rare, and therefore valuable, event. Consequently, at the end of the interviewing period, some interviewers are known to say that There are only a few days left. Im not sure Ill be able to interview you if we dont do it now a clear attempt to make the scarcity principle apply.
Similarly, survey organizations and interviewers may attempt to invoke social validation by suggesting that Most people enjoy being interviewed, or Most people choose to participate, or by evincing surprise at the expression of reluctance by a householder.
The use of race or gender matching by survey organizations may be an attempt to invoke liking through similarity, as well as reducing the potential threat to the householder.
Other survey design features do not fit nicely into the compliance heuristics conceptualized by Cialdini. Indeed, these are much more closely aligned with rational choice, cost versus benefit tradeoff decisions. For example, there is some evidence that longer questionnaires require the interviewer to work harder to gain cooperation. In interviewer-assisted surveys some of the disadvantages can be overcome by interviewer action, but more work is required. Thus, other things being equal, choosing a short survey interview may yield easier attainment of high participation.
Related to burden as measured by time is burden produced by psychological threat or low saliency. Survey topics that ask respondents to reveal embarrassing facts about themselves or that cover topics that are avoided in day-to-day conversations between strangers may be perceived as quite burdensome. For example, surveys about sexual behaviors or income and assets tend to achieve lower cooperation rates, other things being equal, than surveys of health or employment. On the other hand, when the topic is salient to the householders, when they have prior interest in the topic, then the perceived burden of answering questions on the topic is lower. This probably underlies the finding of Couper (1997) that householders who express more interest in politics are interviewed more easily than those with no such interests.
Attributes of the Interviewer
Observable attributes of the interviewer affect participation because they are used as cues by the householder to judge the intent of the visit. For example, consider the sociodemographic characteristics of race, age, gender, and socioeconomic status. At the first contact with the interviewer, the householder is making judgments about the purposes of the visit. Is this a sales call? Is there any risk of physical danger in this encounter? Can I trust that this person is sincere? Assessments of alternative intentions of the caller are made by matching the pattern of visual and audio cues with evoked alternatives. All attributes of the interviewer that help the householder discriminate the different scripts will be used to make the decision about the intent of the call. Once the householder chooses an interpretation of the intent of the call a cognitive script in Abelsons (1981) terms then the householder can use the script to guide his or her reactions to the interviewer.
The second set of influences from the interviewer is a function of the householders experience. To select an approach to use, the interviewer must judge the fit of the respondent to other respondent types experienced in the past (either through descriptions in training or actual interaction with them). We believe that experienced interviewers tend to achieve higher levels of cooperation because they carry with them a larger number of combinations of behaviors proven to be effective for one or more types of householders. A corollary of this is that interviewers experiencing diverse subpopulations are even more resourceful and are valuable for refusal conversion work. We can also deduce that the initial months and years of interviewing offer the largest gains to interviewers by providing them with new persuasion tools.
The third set of attributes might be viewed as causally derivative of the first two, interviewer expectations regarding the likelihood of gaining cooperation of the householder. Research shows that interviewers who believe survey questions are sensitive tend to achieve higher missing-data rates on them (Singer and Kohnke-Aguirre, 1979). Interviewers report that their emotional state at the time of contact is crucial to their success: I do not have much trouble talking people into cooperating. I love this work and I believe this helps 'sell' the survey. When I knock on a door, I feel Im gonna get that interview! We believe these expectations are a function of interviewer sociodemographic attributes (and their match to those of the householder), their personal reactions to the survey topic, and their experience as an interviewer.
When interviewers encounter householders, the factors discussed come to bear on the decision to participate. The strategies the interviewer employs to persuade the sample person are determined not only by the interviewers own ability, expectations, and other variables, but also by features of the survey design and by characteristics of the immediate environment and broader society. Similarly, the responses that the sample person makes to the request are affected by a variety of factors, both internal and external to the respondent, and both intrinsic and extrinsic to the survey request.
We have posited that most decisions to participate in a survey are heuristically based. The evidence for this lies in the tendency for refusals to come quickly in the interaction; for interviewers to use short, generally nonoffensive descriptors in initial phases of the contact; and for respondents to only rarely seek more information about the survey. This occurs most clearly when participation (or lack thereof) has little personal consequence. With Brehm (1993) we believe that the verbal reasons for refusals Im too busy, Im not interested partially reflect these heuristics, mirroring current states of the householder but, in contrast to Brehm, we believe they are not stable under alternative cues presented to the householder. We believe there are two constructs regarding interviewer behavior during the interaction with a householder that underlie which heuristics will dominate in the householders decision to participate. These are labeled tailoring and maintaining interaction.
Tailoring. Experienced interviewers often report that they adapt their approach to the sample unit. Interviewers engage in a continuous search for cues about the attributes of the sample household or the person who answers the door, focusing on those attributes that may be related to one of the basic psychological principles reviewed previously. For example, in poor areas, some interviewers choose to drive the familys older car and to dress in a manner more consistent with the neighborhood, thereby attempting to engage the liking principle. In rich neighborhoods, interviewers may dress up. In both cases, the same compliance principle similarity leads to liking is engaged, but in different ways.
In some sense, expert interviewers have access to a large repertoire of cues, phrases, or descriptors corresponding to the survey request. Which statement they use to begin the conversation is the result of observations about the housing unit, the neighborhood, and immediate reactions upon first contact with the person who answers the door. The reaction of the householder to the first statement dictates the choice of the second statement to use. With this perspective, all features of the communication are relevant not only the words used by the interviewer, but the inflection, volume, pacing (see Oksenberg et al., 1986), as well as physical movements of the interviewer.
From focus groups with interviewers, we found that some interviewers are aware of their tailoring behavior: I give the introduction and listen to what they say. I then respond to them on an individual basis, according to their response. Almost all responses are a little different, and you need an ability to intuitively understand what they are saying. Or I use different techniques depending on the age of the respondent, my initial impression of him or her, the neighborhood, etc. Or From all past interviewing experience, I have found that sizing up a respondent immediately and being able to adjust just as quickly to the situation never fails to get their cooperation, in short being able to put yourself at their level be it intellectual or street wise is a must in this businessÉ.
Tailoring need not occur only within a single contact. Many times contacts are very brief and give the interviewer little opportunity to respond to cues obtained from the potential respondent. Tailoring may take place over a number of contacts with that household, with the interviewer using the knowledge he or she has gained in each successive visit to that household. Tailoring also may occur across sample households. The more an interviewer learns about what is effective and what is not with various types of potential respondents encountered, the more effectively requests for participation can be directed at similar others. This implies that interviewer tailoring evolves with experience. Not only have experienced interviewers acquired a wider repertoire of persuasion techniques, but they are also better able to select the most appropriate approach for each situation.
Maintaining interaction. The introductory contact of the interviewer and householder is a small conversation. It begins with the self-identification of the interviewer, contains some descriptive matter about the survey request, and ends with the initiation of the questioning, a delay decision, or the denial of permission to continue. There are two radically different optimization targets in developing an introductory strategy maximizing the number of acceptances per time unit (assuming an ongoing supply of contacts), and maximizing the probability of each sample unit accepting.
The first goal is common to some quota sample interviewing (and to sales approaches). There, the supply of sample cases is far beyond that needed for the desired number of interviews. The interviewer behavior should be focused on gaining speedy resolution of each case. An acceptance of the survey request is preferred to a denial, but a lengthy, multicontact preliminary to an acceptance can be as damaging to productivity as a denial. The system is driven by number of interviews per time unit.
The second goal, maximizing the probability of obtaining an interview from each sample unit, is the implicit aim of probability sample interviewing. The amount of time required to obtain cooperation on each case is of secondary concern. Given this, interviewers are free to apply the tailoring over several turns in the contact conversation. How to tailor the appeal to the householder is increasingly revealed as the conversation continues. Hence, the odds of success are increased as the conversation continues. Thus, the interviewer does not maximize the likelihood of obtaining a yes answer in any given contact, but minimizes the likelihood of a no answer over repeated turntaking in the contact.
We believe the techniques of tailoring and maintaining interaction are used in combination. Maintaining interaction is the means to achieve maximum benefits from tailoring, for the longer the conversation is in progress, the more cues the interviewer will be able to obtain from the householder. However, maintaining interaction is also a compliance-promoting technique in itself, invoking the commitment principle as well as more general norms of social interaction. That is, as the length of the interaction grows, it becomes more difficult for one actor to summarily dismiss the other.
Figure 1-9 is an illustration of these two interviewer strategies at work. We distinguish between the use of a general compliance-gaining strategy (e.g., utilizing the principle of authority) and a number of different (verbal and nonverbal) arguments or tactics within each strategy (e.g., displaying the ID badge prominently, emphasizing the sponsor of the survey). The successful application of tailoring depends on the ability of the interview to evaluate the reaction of the householder to his or her presence, and the effectiveness of the arguments presented. Note that the interviewers initial goal is to maintain interaction (avoiding pushing for the interview) as long as the potential respondents reaction remains neutral or noncommittal. An interviewer will continue to present different arguments until the householder is clearly receptive to an interview request, or there are no more arguments to present. For inexperienced interviewers the latter may occur before the former, forcing the interviewer to (prematurely in some cases) initiate the interview request.
FIGURE 1-9. Interviewer behavior during interaction with householders.
SOURCE: Groves and Couper (1998).
There is some support from training procedures that the maintaining interaction model operates as theorized. First, interviewers typically are warned against unintentionally leading the householder into a quick refusal. If the person appears rushed or preoccupied by some activity in the household (e.g., fighting among children), the interviewer should seek another time to contact the unit. A common complaint concerning inexperienced interviewers is that they create many soft refusals (i.e., cases easily converted by an experienced interviewer) by pressing the householder into a decision prematurely. Unfortunately, only rarely do interviewer recruits receive training in the multiturn repartee inherent in maximizing the odds of a yes over all contacts. Instead, they are trained in stock descriptors of the survey leading to the first question of the interview.
We note how similar the goals of a quota sample interviewer are to those of any salesperson, but how different are those of the probability sample interviewer. Given this, it is not surprising that many attempts to use sales techniques in probability sample surveys have not led to large gains in cooperation. The focus of the salesperson is on identifying and serving buyers. The browser must be ignored when a known buyer approaches. In contrast, the probability sample interviewer must seek cooperation from both the interested and uninterested.
At the same time that the interviewer is exercising skills regarding tailoring and maintaining interaction, the householder is engaged in a very active process of determining whether there has been prior contact with the interviewer, what is the intent of the interviewers call, whether a quick negative decision is warranted, or whether continued attention to the interviewers speech is the right decision. Figure 1-10 describes this process.
FIGURE 1-10. Householder behavior during interactions with the interviewer.
SOURCE: Groves and Couper (1998)
The process has various decision points at which the householder can make positive or negative decisions regarding participation in the survey. These arise because the householder misinterprets the visit as involving some unpleasant nonsurvey request; that is, the householder chooses the wrong script. They arise if there are very high opportunity costs for the householder to continue the interaction with the interviewer. They arise if any of the heuristics point to the wisdom of a negative or positive decision.